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DOE OSTI2022

Risk Management and Risk Aversion, from Benefit to Impediment

Risk management is a critical tool for improving the probability of project success by identifying, assessing, prioritizing, and attempting to control threats to project realization. For industries that require high operational reliability due to the potential consequences of off-normal events, such as the nuclear, aerospace, and chemical sectors, a major focus of risk management is the preservation of process safety. Due to the nature of the processes or systems under consideration, the associated process safety analyses (such as risk and safety assessments) and safety features can require significant resources. These costs are typically tolerated either due to the need to satisfy regulatory requirements or based on the assumption that they generally decrease the occurrence of unwanted events and therefore improve the probability of project success. However, as the level of acceptable or tolerable risk from unwanted events decreases, the required resources necessary for ensuring and demonstrating satisfaction of these criteria can grow and in turn can become one of the dominant impediments to project success. This paper outlines a high-level theoretical framework for the consideration of dominant project risks, which includes potential project failure from both the occurrence of high consequence off-normal events and the inability to achieve project completion due to the resource needs and innovation losses associated with extreme risk aversion. Utilizing such an integrated approach permits an attempt to optimize the probability of successful project realization while also providing valuable insight into the proper level of acceptable risk. The work is presented as a first step, in hopes of spurring additional discussion and analysis regarding appropriate levels of risk tolerance and the balance of project benefits.

Grabaskas, David↗

DOE OSTI2021

Distributed Wind Resilience Metrics for Electric Energy Delivery Systems: Comprehensive Literature Review

While most people have a general concept of what it means to be “resilient,” an examination of definitions from different sources reveals that there are key commonalities but key differences as well. The lack of a generally accepted definition and application of resilience extends to electric energy delivery systems. Without an accepted definition, it is difficult to implement programs or processes to improve resiliency. In this paper, existing work from industry, regulatory bodies, and national laboratories to define and apply resilience to electric energy delivery systems is studied to understand the key components to define resilience and better understand associated metrics. This understanding is then applied to distributed wind for a specific example of how resilience of a system is affected by the technologies and generation sources used to support it. A key finding is that there is no “one size fits all” process for resilience. Each system has a “distinctiveness” characteristic, which qualifies the possibility of differences in resilience due to different threats, geography, stakeholders, risk tolerance, and mitigations. The distinctiveness characteristic extends to distributed wind, where different configurations may lend the distributed wind to contribute to the resilience of systems in a variety of ways. The findings of this research demonstrate the need for a resilience framework that can be readily applied by stakeholders to improve resilience based on the specific system, threat, risk tolerance and stakeholders.

17 WIND ENERGY↗

DOE OSTI2025

Planning Amidst Uncertainty: Identifying Core CCS Infrastructure Robust to Storage Uncertainty

Carbon Capture and Storage (CCS) is a critical technology for reducing anthropogenic CO2 emissions, but its large-scale deployment is complicated by uncertainties in geological storage performance. These uncertainties pose significant financial and operational risks, as underperforming storage sites can lead to costly infrastructure modifications, inefficient pipeline routing, and economic shortfalls. To address this challenge, we propose a novel optimization workflow that is based on mixed-integer linear programming and explicitly integrates probabilistic modeling of storage uncertainty into CCS infrastructure design. This workflow generates multiple infrastructure scenarios by sampling storage capacity distributions, optimally solving each scenario using a mixed-integer linear programming model, and aggregating results into a heatmap to identify core infrastructure components that have a low likelihood of underperforming. A risk index parameter is introduced to balance trade-offs between cost, CO2 processing capacity, and risk of underperformance, allowing stakeholders to quantify and mitigate uncertainty in CCS planning. Applying this workflow to a CCS dataset from the US Department of Energy’s Carbon Utilization and Storage Partnership project reveals key insights into infrastructure resilience. Reducing the risk index from 15% to 0% is observed to lead to an 83.7% reduction in CO2 processing capacity and a 77.1% decrease in project profit, quantifying the trade-off between risk tolerance and project performance. Furthermore, our results highlight critical breakpoints, where small adjustments in the risk index produce disproportionate shifts in infrastructure performance, providing actionable guidance for decision-makers. Unlike prior approaches that aimed to cheaply repair underperforming infrastructure, our workflow constructs robust CCS networks from the ground up, ensuring cost-effective infrastructure under storage uncertainty. These findings demonstrate the practical relevance of incorporating uncertainty-aware optimization into CCS planning, equipping decision-makers with a tool to make informed project planning decisions.

Olson, Daniel↗

DOE OSTI2022

An Enhanced Computational Framework for Energy Storage Participation in Transmission Planning with Electricity Market Participation: Dynamic Market Participation Restriction Estimation

In the previous study and report, we developed a computational framework to explore the technical and economic viability of the dual use of pumped storage hydropower (PSH) for both transmission assets and market participation. The rationale for the dual-use application is to improve the resource utilization rate and reduce the cost recovery burden. A PSH-based transmission solution generally has a large capacity, which corresponds to a higher investment cost compared to a traditional line solution. Market participation may allow the PSH asset to offset part of its high investment cost. A critical question is whether it is economically and technically viable to allow dual use of a PSH-based transmission project without jeopardizing transmission system reliability. And a more specific follow-up question is how to improve market participation performance while maintaining transmission reliability. In this study, we extend the computational framework by updating the method to determine transmission service obligation requirements dynamically based on the possibility of the need for transmission service in operation. Specifically, we correlate the need for transmission service with the probability of thermal overloading on a monitored transmission line, which is essentially based on the probability distribution of power flow and its probability of exceeding the line rating based on system dispatch and operational uncertainties. In addition, the need depends on the level of risk that a system operator is willing to take. The higher the risk tolerance, the lower the requirement that the system operator would apply to the PSH project as a transmission asset. The requirements are updated every day before the PSH project determines its market participation strategy. With the updated transmission service requirements, it is expected that a PSH project can serve as a transmission asset when the transmission system is at risk and really needs it, while it can participate in a market with sufficient information and certain restrictions. In this way, the transmission service quality and market participation performance can both be improved.

29 ENERGY PLANNING, POLICY, AND ECONOMY↗

DOE OSTI2022

Induced seismicity red-light thresholds for enhanced geothermal prospects in the Netherlands

Prospects for geothermal energy in the Netherlands have renewed concerns around induced earthquakes. Risks from induced earthquakes are managed by traffic light protocols (TLPs), where the red-light is chosen as the stop-point before exceeding a tolerance to risk. Here, we simulate post-shut-in earthquake scenarios based on realistic information for the Netherlands. We focus on three risk metrics: aggregates like nuisance and damage impacts and also local personal risk (LPR) – a likelihood of building collapse fatality for an individual. Our results show that the severity of these risks varies spatially by orders of magnitude. Prior induced seismicity (e.g., the 2012 Huizinge event) provides a reference baseline to calibrate the Dutch earthquake risk tolerances. We find that these calibrated risk tolerances are similar to those observed in North America, suggesting an underlying sociological ‘license to operate.’ Furthermore, the use of calibrated risk tolerances results in nuisance concerns completely eclipsing the other two metrics. We compare our results to a hypothetical Groningen geothermal operation and find that our approach sets red-light thresholds approximately one magnitude unit below the ML 3.6 Huizinge event. Overall, our results provide a first-order recommendation for red-light thresholds and proactive management of Dutch enhanced geothermal induced seismicity.

15 GEOTHERMAL ENERGY↗

DOE OSTI2022

Receptance coupling substructure analysis and chatter frequency-informed machine learning for milling stability

This paper describes a milling stability identification approach that simultaneously considers: physics-based models for the tool tip frequency response functions and stability predictions; the binary result from a milling test (automatically labeled as stable or unstable based on frequency content); chatter frequency when an unstable result is obtained; and user risk tolerance. The algorithm applies probabilistic Bayesian machine learning with adaptive, parallelized Markov Chain Monte Carlo sampling to update the probability of stability with each milling test. Furthermore, the result is a robust solution for rapid convergence to optimized milling parameters for maximum metal removal rate using all available information.

42 ENGINEERING↗

DOE OSTI2025

A scoping study of far-SOL main-wall protection limiters for steady-state operation of compact pilot plant tokamaks

We present a novel method for handling steady-state heat fluxes incident on the main wall of pilot plant-scale magnetic fusion devices, based on the utilization of protection limiters in the far scrape-off layer (SOL). This method helps avoid large plasma-wall gaps, without excessively compromising blanket performance. We present an optimization algorithm for determining the appropriate size and scale of these protection limiters given (1) probability distributions of SOL plasma parameters and (2) assumed risk tolerance. As part of this optimization, we have developed an analytic description of parallel heat fluxes across limiter shadows, and an objective cost function (the ‘Far-SOL Marginal Cost’) to quantify the impact that different main-wall thermal management design choices have on reactor capital cost. Applying the model to a midscale fusion pilot plant concept shows that making use of far-SOL protection limiters can reduce capital costs on the order of $500 M, relative to naively increasing the plasma-wall gap. Our analysis demonstrates that the far-SOL power decay length is the highest-leverage plasma assumption for thermal loading of the first wall, and the primary cost driver for main wall thermal management. The relative cost efficiency of protection limiters increases as assumptions on the far-SOL heat flux become more pessimistic. The concepts described in this paper motivate the further development of far-SOL protection limiters as part of larger efforts to design economical core-edge-wall compatible solutions for a fusion pilot plant.

Design under uncertainty↗

DOE OSTI2021

Machine learning based rate optimization under geologic uncertainty

We propose a novel approach for rate optimization during a waterflood under geologic uncertainty in reservoir properties such as permeability and porosity. The traditional approach typically involves several runs of the forward simulator. This may not scale well when the optimization is to be performed at the full field-level and over multiple geologic realizations. A machine-learning (ML) based approach which is quick and scalable for rate optimization over multiple geologic realizations is proposed instead. The training data for the model is generated by running the forward simulator with randomly assigned well rates using multiple geologic realizations. A reduced order representation of the permeability heterogeneity in each of the realizations is derived using a grid connectivity transformation (GCT). This step involves finding basis functions corresponding to the different modal frequencies of the grid connectivity represented by the grid Laplacian. The projection of the heterogeneous property field along these basis functions gives the basis coefficients that form the reduced order representation. Subsequently, for each training datapoint, streamlines are traced and the minimum time of flight (TOF) representing the tracer breakthrough time at each producer is recorded. The basis coefficients and well rates are fed to a machine learning model as input and the minimum TOF at the producers forms the output of the model. This trained model can then be used along with an optimizer for computing the optimal injection rates to maximize the injection sweep efficiency. This corresponds to minimizing the variance in the minimum TOF within each well group. Different architectures of neural network are tested using 5-fold cross validation to decide the best ML model to compute the streamline time of flight. The trained model is used to perform well rate optimization over multiple realizations of geology by using a risk tolerance penalty. The optimal well rates thus obtained are compared with two cases: a) equal well rates assigned to all injectors and producers and b) well rates obtained by optimizing over a single realization without considering the uncertainty in geology. The optimal well rates are seen to offer better oil recovery and sweep efficiency than both cases.

02 PETROLEUM↗

DOE OSTI2020

Optimization Framework to Assess the Demand Response Capacity of a Water Distribution System

As large electricity consumers, water distribution system (WDS) pumping stations have the potential to become meaningful participants in demand response (DR) programs. The authors propose an optimization framework for assessing the DR capacity of a WDS and identifying the optimal bidding strategy for maximizing WDS revenue in the DR spot market. The proposed mixed integer linear programming (MILP) model overcomes computational constraints of previous DR optimization models by adopting a preprocessing procedure to minimize the number of binary variables and implementing a convex relaxation technique to linearize the hydraulic equations. The proposed MILP model also explicitly accounts for varying levels of risk tolerance of WDS operators by varying the recovery period over which pumping returns to business-as-usual operation. The optimization framework is implemented on a skeletonized 48-node WDS model that includes 7 pumps, 6 tanks, and 39 pipes. Using a simulated DR event and water consumption profile, the authors derive the optimal DR supply curves (i.e., compensation price versus load curtailment quantity) and revenue potential of the WDS under six scenarios for DR participation.

32 ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATI↗

DOE OSTI2025

FIRE: A Failure-Adaptive RL Framework for Edge Computing Migrations

In edge computing, users' service profiles are migrated between edge servers due to user mobility. Reinforcement Learning (RL) frameworks have been proposed to do so, often trained on simulated data. However, existing RL frameworks overlook occasional server failures, which although rare, impact latency-sensitive applications like AR/VR and real- time obstacle detection. These rare failures, being not adequately represented in historical training data, pose a challenge for data-driven RL algorithms. We introduce FIRE, a framework that adapts to rare events by training a RL policy in an edge computing digital twin environment. We propose FIRE-ImRE, an importance sampling-based Q-learning algorithm, which samples rare events proportionally to their impact on the value function. FIRE considers delay, migration, failure, and backup placement costs across individual and shared service profiles. We prove FIRE-ImRE's boundedness and convergence to optimality. Next, we introduce novel deep Q-learning (FIRE-ImDQL) and actor critic (FIRE-ImACRE) versions of our algorithm to enhance scalability. Here, we extend our framework to accommodate users with varying risk tolerances of rare failure events. Through trace-driven experiments, we show that FIRE reduces edge computing costs compared to vanilla RL and the greedy baseline in the event of failures.

Edge computing↗

DOE OSTI2024

Cyber100 Compass [SWR 23-64]

Cyber100 Compass ("Compass") is a unique risk assessment framework that will enable grid system planners to understand and mitigate cybersecurity risk for grids transitioning to high levels of renewable generation, including 100%. The idea for Compass was developed by NREL based on past work on high-renewable grids and a series of discussions with DOE. Compass is part of Cyber100, a portfolio of proposed research activities that would greatly expand understanding of cybersecurity for high-renewable grids. Compass is a desktop application designed with a user-friendly interface. The tool gathers information from users, conducts probabilistic backend calculations, and outputs a series of visualizations to help users understand and analyze their cybersecurity risks based on the unique features of their future grid. Compass will take as inputs the values for different conditions and produce a risk score of the resulting grid. By trying different configurations, system planners can compare the resultant risks against their own risk tolerance and decide which system-of-system controls to implement as they transition toward a 100% renewable grid.

Martin, Maurice↗

DOE OSTI2023

Advanced Reactor Control Systems Authentication Methods and Recommendations

In the dynamic landscape of Operational Technology (OT), and specifically the emerging landscape for Advanced Reactors, the establishment of trust between digital assets emerges as a challenge for cybersecurity modernization. This report reviews existing approaches to authentication in Enterprise environments, and proposed methods for authentication in OT, and analyzes each for its applicability to future Advanced Reactor digital networks. Principles of authentication ranging from underlying cryptographic mechanisms to trust authorities are evaluated through the lens of OT. These facets emphasize the importance of mutual authentication in real-time environments, enabling a paradigm shift from the current approach of strong boundaries to a more malleable network that allows for flexible operation. This work finds that there is a need for evaluation and decision making by industry stakeholders, but current technologies and approaches can be adapted to fit needs and risk tolerances.

22 GENERAL STUDIES OF NUCLEAR REACTORS↗

DOE OSTI2025

URC/HRC Selection Guidance

Given the importance of the URC and HRC thresholds as part of a physical security program that is designed to protect against radiological sabotage, it is important to provide guidance on how to assign those thresholds consistent with a State’s level of risk tolerance. Without such guidance, most States will be challenged to establish appropriate thresholds or appropriately establish regulations. This document provides guidance on establishing dose limits and where they apply, as well as the timeframe for which the dose limits should be measured. For dose limits, it offers examples of established thresholds based on safety and emergency response thresholds. Whereas, for timeframes, a process to identify possible timeframes is offered.

45 MILITARY TECHNOLOGY, WEAPONRY, AND NATIONAL DEF↗

DOE OSTI2020

Southeast Regional CO 2 Utilization and Storage Acceleration Partnership (SECARB-USA): Data Quality Methodology (4.2.1)

SECARB-USA Deliverable 4.2.1 utilizes the outputs from the Needs Assessment (Subtask 2.1) to develop a data quality methodology. Many types of data are needed to evaluate a site for technical and financial viability. Several inventories of data types have been produced (for example NETL, 2010). The objective here is to organize the data types so that the needs met are specified. From this cross index (Table 1 in the Appendix), it will be possible in future tasks to (1) determine, on a site-specific basis, how much of each data type is required at each stage of a project to meet the need, and conversely (2) to further specify and define the data collection methods applied such that the data are tailored to fit that need. Derivative tables can then be developed to semi-quantitively evaluate the extent to which need is critical for early go/no decision points, or if it is more important than average, requiring faster or larger capitalization and spend to meet the need. In an additional step, the current availability of data for a site can be semi-quantitively assessed. From the table of data criticality and the table of data availability, site-specific cost for meeting the data needs can be determined, and allow a pre-permit spend estimated for a portfolio of projects. All of the data needs to evaluate a site are somewhat interconnected. We used criterion (2) above to determine if the data collection design would have to be modified to meet the need; if this was commonly true a linkage was shown. The application of this cross index to sites in the subsequent tasks will demonstrate that the demand for data types varies site-to-site and project-to-project. Examples of factors to be considered are the complexity of the geology, the injection goals such as rate and duration of the injection, and the types of risk and risk tolerance of key stakeholders. In future tasks the team will compare the demand for data with existing data availability. This will, in turn, determine when data needs to be acquired to support project development. For example, in a project area with complex structure, 3-D seismic data may be needed earlier and more urgently than in an area with simple rock body geometries. In some locations, a 3-D seismic survey has already been collected and can be purchased. In other locations the project developer will need to collect these data. For another example, a project near an urban area or near to a park may generate earlier and more substantive public concern than a site that is developed in mined lands. A calculation using the derivative from table 1 will show the different investment needs. Project cost will vary corresponding to data criticality and data availability.

42 ENGINEERING↗

DOE OSTI2021

Developing Technology Performance Level Assessments for Early-Stage Wave Energy Converter Technologies: Preprint

The advantage of using Technology Performance Level (TPL) in conjunction with Technology Readiness Level (TRL) assessments in guiding technology development trajectories to successful outcomes in less time, at less overall cost, and with less encountered risk has been well articulated in the literature. In partnership with industry and international collaborators, a TPL assessment methodology for grid-connected applications has been developed through the application of the systems engineering approach. Metrics under seven different categories have been developed, weighted based on their relative relevance, and combined to yield a composite score. The methodology has been implemented in a spreadsheet tool plus a web application specifically aimed at assessing early stage (TRL 1-3) concepts. The target use cases are (a) technology developers improving their design, to find fatal flaws early, to get feedback on current design, to identify areas of improvement that will yield the highest return on investment, (b) reviewers assessing technologies in competitions or for making funding decisions, (c) investor or project developer doing due diligence, (d) policy makers landscaping the technology domain for formulating R&D strategy. The methodology and the tools are undergoing continuous improvement based on the experience and lessons learnt from applying it to internal and external marine energy technology development projects. The methodology is also being adapted for assessing WECs servicing markets outside the continental grid - broadly categorized as Powering the Blue Economy (PBE) applications. Such applications have vastly different functional requirements entailing a modification of the methodology to account for their higher risk tolerance, reduced price sensitivities, lower power needs, different permitting protocols, etc. This paper presents the latest status of the TPL assessment methodology and tools, describes its adaptation to select PBE markets, and explores its extension to other domains where it could provide a comprehensive and holistic measure of a nascent or disruptive technology's technoeconomic performance potential.

metrics↗

DOE OSTI2021

Developing Technology Performance Level Assessments for Early-Stage Wave Energy Converter Technologies

metrics↗

DOE OSTI2024

Brick Schema Standardized Plug Load Control Strategies for Load Reduction: Preprint

Plug loads comprise a significant percentage of commercial building energy consumption. Applying intelligent controls to turn off plug loads when unused can provide dynamic load reduction and flexibility, which are key traits of grid-interactive efficient buildings. This capability is important for equitable decarbonization as it can enable disadvantaged communities to electrify buildings without costly upgrades to electrical infrastructure. In this work, we present the effectiveness of various control strategies along with the operational lessons that informed their design. During a three-year period, we operated over 600 smart outlets in 12 university office buildings. The attached plug loads consisted primarily of printers, TVs, water dispensers, and copiers. After recording baseline power measurements for one year, we designed plug load control (PLC) strategies for each plug load type, use, and for different risk tolerance levels because PLC can potentially be disruptive to daily work. We used the Brick Schema to facilitate the management of plug load locations and other metadata. For advanced controls, we integrated the smart plugs with heating, ventilation, and air conditioning (HVAC) systems through the campus building automation system. We found static schedules to be the least disruptive and most predictable for occupants, resulting in 38% and 66% energy savings in two studies. For printers, print server-triggered PLC produced 86% savings, the highest of all strategies with minimal occupant impact. Scheduling of water dispensers and digital signage TVs produced 49% and 70% savings respectively with opportunities to improve performance with the use of HVAC occupancy data.

ENERGY CONSERVATION, CONSUMPTION, AND UTILIZATION↗

DOE OSTI2025

Navigating Integration: Key Challenges for Data Centers, Nuclear Stakeholders, and Utility Operators

he exponential growth of data centers—driven by artificial intelligence and cloud computing—is reshaping the U.S. energy landscape, presenting urgent challenges and transformative opportunities for data center developers, nuclear energy providers, and utility operators. As data centers are projected to consume up to 12% of U.S. electricity by 2028, stakeholders must address rapid deployment needs, grid congestion, and the demand for reliable, high-quality power. This presentation explores the multifaceted barriers to integrating data centers with nuclear and utility infrastructure, including land use constraints, public perception, regulatory complexity, and workforce alignment. It highlights the distinct priorities and operational cultures of each sector, and the friction that arises from misaligned planning horizons and risk tolerances. We examine collaborative strategies such as co-siting, hybrid power-purchase agreements, unified community engagement, and innovative financing models.

22 - GENERAL STUDIES OF NUCLEAR REACTORS↗